regulatory notice - Robuta Search

https://www.finra.org/rules-guidance/notices/22-08/comment/thomas-quammen-comment-regulatory-notice-22-08 Thomas Quammen Comment On Regulatory Notice 22-08 | FINRA.org Worry about the hedge funds overleveraging not retail investors taking too much risk regulatory notice thomas comment finra https://www.finra.org/rules-guidance/notices/21-19/comment/amy-w-comment-regulatory-notice-21-19 Amy W Comment On Regulatory Notice 21-19 | FINRA.org Hello, I wholeheartedly support FINRA's step toward a slightly more transparent system. FINRA requests comment on whether FINRA should publish on the FINRA... amy w regulatory notice comment finra https://oal.ca.gov/january-2022-california-regulatory-notice-registers/ January 2022 California Regulatory Notice Registers | OAL california regulatory january notice registers oal https://www.finra.org/rules-guidance/notices/18-40 Regulatory Notice 18-40 | FINRA.org SEC Approves Amendments to the Codes of Arbitration Procedure to Establish a $200 Honorarium for Contested Subpoenas or Orders regulatory notice finra https://www.finra.org/rules-guidance/notices/13-13 Regulatory Notice 13-13 | FINRA.org SEC Approves Amendments to Rule 6440 Relating to Trading and Quotation Halts in OTC Equity Securities regulatory notice finra https://www.finra.org/rules-guidance/notices/22-08/comment/sidney-chen-comment-regulatory-notice-22-08-0 Sidney Chen Comment On Regulatory Notice 22-08 | FINRA.org I oppose restrictions to my right to invest in leveraged and leveraged inverse ETFs. regulatory notice sidney chen comment finra https://oal.ca.gov/may-2020-california-regulatory-notice-registers/ May 2020 California Regulatory Notice Registers | OAL california regulatory may notice registers oal https://www.finra.org/rules-guidance/notices/16-12 Regulatory Notice 16-12 | FINRA.org FINRA Provides Guidance on Firm Responsibilities for Sales of Pension Income Stream Products regulatory notice finra https://www.finra.org/rules-guidance/notices/21-19/comment/chris-tate-comment-regulatory-notice-21-19 Chris Tate Comment On Regulatory Notice 21-19 | FINRA.org Please investigate criminal activity such as naked shorting..... into any hedge funds that are illegally affecting a market of any given stock. regulatory notice chris tate comment finra https://www.finra.org/rules-guidance/notices/22-08/comment/samuel-tull-comment-regulatory-notice-22-08 Samuel Tull Comment On Regulatory Notice 22-08 | FINRA.org to: FINRA I believe the proposal to restrict my or anyones right to invest in the way that they desire is more of the government nanny thinking. This hasnt... regulatory notice samuel tull comment finra https://www.finra.org/rules-guidance/notices/19-24 Regulatory Notice 19-24 | FINRA.org Summary Last year, FINRA took several steps to engage with members regarding their current and planned activities relating to digital assets. These efforts... regulatory notice finra https://www.finra.org/rules-guidance/notices/18-13 Regulatory Notice 18-13 | FINRA.org FINRA Requests Comment on Proposed Amendments to the Quantitative Suitability Obligation Under FINRA Rule 2111 regulatory notice finra https://www.finra.org/rules-guidance/notices/comment/njay-comment-regulatory-notice-24-13 Njay Comment On Regulatory Notice 24-13 | FINRA.org Lowering the Pattern Day Trader (PDT) minimum threshold from $25,000 to $2,000 would create a more inclusive and equitable trading environment, enabling retail... regulatory notice comment finra https://www.finra.org/rules-guidance/notices/09-31 Regulatory Notice 09-31 | FINRA.org FINRA Reminds Firms of Sales Practice Obligations Relating to Leveraged and Inverse Exchange-Traded Funds regulatory notice finra https://www.finra.org/rules-guidance/notices/15-46 Regulatory Notice 15-46 | FINRA.org regulatory notice finra https://www.finra.org/rules-guidance/notices/11-40 Regulatory Notice 11-40 | FINRA.org SEC Approves Amendments Clarifying Certain Exceptions Under Trade Reporting Rules and Adopting Notice Requirement for Transactions That Are Part of an... regulatory notice finra https://oal.ca.gov/september-2022-california-regulatory-notice-register/ September 2022 California Regulatory Notice Register | OAL california regulatory notice register september oal https://oal.ca.gov/november-2021-california-regulatory-notice-registers/ November 2021 California Regulatory Notice Registers | OAL california regulatory november notice registers oal https://www.finra.org/rules-guidance/notices/21-19/comment/luke-witte-comment-regulatory-notice-21-19 Luke Witte Comment On Regulatory Notice 21-19 | FINRA.org Anyone who has looked at the derivates market for $AMC and $GME knows that short interest is being aritfically brought down by the use of these options... regulatory notice luke witte comment finra https://www.finra.org/rules-guidance/notices/16-02 Regulatory Notice 16-02 | FINRA.org FINRA Revises the Series 9/10 Examination Program regulatory notice finra https://www.finra.org/rules-guidance/notices/16-35 Regulatory Notice 16-35 | FINRA.org Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update regulatory notice finra https://www.finra.org/rules-guidance/notices/20-08 Regulatory Notice 20-08 | FINRA.org Summary Due to the recent outbreak of coronavirus disease (COVID-19), FINRA reminds member firms to consider pandemic-related business continuity planning,... regulatory notice finra https://www.finra.org/rules-guidance/notices/23-15 Regulatory Notice 23-15 | FINRA.org Regulation T and SEA Rule 15c3-3 Extension of Time Requests Under a T+1 Settlement Cycle regulatory notice finra https://www.finra.org/rules-guidance/notices/10-39 Regulatory Notice 10-39 | FINRA.org Obligation to Provide Timely, Complete and Accurate Information on Form U5 regulatory notice finra https://www.finra.org/rules-guidance/notices/20-19 Regulatory Notice 20-19 | FINRA.org Summary FINRA and the other U.S. members of the Intermarket Surveillance Group1 (ISG members) are enhancing the Electronic Blue Sheets (EBS) to improve their... regulatory notice finra https://oal.ca.gov/california_regulatory_notice_online/may-2019-california-regulatory-notice-registers/ May 2019 California Regulatory Notice Registers | OAL california regulatory may notice registers oal https://www.finra.org/rules-guidance/notices/24-03 Regulatory Notice 24-03 | FINRA.org SummaryFINRA has amended its Codes of Arbitration Procedure (Codes) to make: (1) changes to the arbitrator list selection process in response to... regulatory notice finra https://www.finra.org/rules-guidance/notices/16-09 Regulatory Notice 16-09 | FINRA.org FINRA Requests Comment on Proposed Amendments to FINRA Rules to Support the Industry Initiative to Shorten the Settlement Cycle for Securities in the U.S.... regulatory notice finra https://www.finra.org/rules-guidance/notices/07-64 Regulatory Notice 07-64 | FINRA.org Effective December 19, 2007, locations that solely conduct final approval of research reports are exempt from the definition of Office of Supervisory... regulatory notice finra https://www.finra.org/rules-guidance/notices/14-36 Regulatory Notice 14-36 | FINRA.org FINRA Announces Elimination of OTC Bulletin Board Historical Research Reports; Fees for ORF Trade Reporting and Data regulatory notice finra https://www.finra.org/rules-guidance/notices/21-19/comment/alana-furlow-comment-regulatory-notice-21-19 Alana furlow Comment On Regulatory Notice 21-19 | FINRA.org I believe absolutely that 1- Finra should publish on the FINRA website short interest data for all equity securities (listed and unlisted). 2-potential short... regulatory notice alana furlow comment finra https://www.finra.org/rules-guidance/notices/11-44 Regulatory Notice 11-44 | FINRA.org FINRA Requests Comment on Proposed Amendments to NASD Rule 2340 to Address Values of Unlisted Direct Participation Programs and Real Estate Investment Trusts... regulatory notice finra https://www.finra.org/rules-guidance/notices/22-14/comment/matthew-robert-long-comment-regulatory-notice-22-14 Matthew Robert Long Comment On Regulatory Notice 22-14 | FINRA.org I support this as a retail investor. More data and oversight is always needed when looking at the markets. Honest operations done without nefarious intent are... robert long regulatory notice matthew comment https://www.gov.uk/government/news/rsh-publishes-regulatory-notice-for-babergh-district-council RSH publishes regulatory notice for Babergh District Council - GOV.UK The Regulator of Social Housing concluded that the local authority had breached its consumer standards regulatory notice district council rsh publishes babergh https://www.finra.org/rules-guidance/notices/21-19/comment/elrojos-comment-regulatory-notice-21-19 ElRojos Comment On Regulatory Notice 21-19 | FINRA.org When reporting short interest can be skewed through a loophole, this needs to be addressed. When short sale restrictions are enacted as a safety for a volatile... regulatory notice comment finra https://www.finra.org/rules-guidance/notices/21-19/comment/todd-hill-comment-regulatory-notice-21-19 Todd Hill Comment On Regulatory Notice 21-19 | FINRA.org Short selling, when done ethically for the right reasons, provides an important market balance. However, it is obvious given events of the last several months... regulatory notice todd hill comment finra https://www.finra.org/rules-guidance/notices/23-13 Regulatory Notice 23-13 | FINRA.org Summary FINRA has adopted changes to its rules to allow for video conference hearings before the Office of Hearing Officers and the National Adjudicatory... regulatory notice finra https://www.finra.org/rules-guidance/notices/22-08/comment/randall-stone-comment-regulatory-notice-22-08 Randall Stone Comment On Regulatory Notice 22-08 | FINRA.org I am an active individual investor, investing my funds in both IRAs and taxable accounts with Charles Schwab brokerage. I use 2X and 3X leveraged ETFs with... regulatory notice randall stone comment finra https://www.finra.org/rules-guidance/notices/20-42 Regulatory Notice 20-42 | FINRA.org Summary In response to the coronavirus (COVID-19) pandemic, member firms have made rapid and unprecedented changes to their business operations in order to... regulatory notice finra https://www.finra.org/rules-guidance/notices/comment/vic-comment-regulatory-notice-25-06 Vic Comment On Regulatory Notice 25-06 | FINRA.org Dear Sir/Madam, Let's remove Rule 15c2-11 and help release the millions if trapped and lost retail money in Expert market. This rule was supposed to help... regulatory notice vic comment finra https://www.finra.org/rules-guidance/notices/21-19/comment/lindsay-meeks-comment-regulatory-notice-21-19 Lindsay Meeks Comment On Regulatory Notice 21-19 | FINRA.org My concern with shorting a stock is the impact that action has on the company. By shorting 100% of a company's stock (or more!), the stock may drop to a low... regulatory notice lindsay meeks comment finra https://www.finra.org/rules-guidance/notices/21-32 Regulatory Notice 21-32 | FINRA.org Summary FINRA requests comment on a proposed change to its current policy relating to the assignment of OTC symbols to unlisted equity securities.... regulatory notice finra https://www.finra.org/rules-guidance/notices/07-54 Regulatory Notice 07-54 | FINRA.org SEC Approves New NASD Rule 2290 Regarding Fairness Opinions regulatory notice finra https://www.finra.org/rules-guidance/notices/21-19/comment/chad-thomas-comment-regulatory-notice-21-19 Chad Thomas Comment On Regulatory Notice 21-19 | FINRA.org Simply put, Short Sellers have for decades made the argument that disclosing their position makes them a target for Short Squeeze. However, they in many cases... chad thomas regulatory notice comment finra https://www.finra.org/rules-guidance/notices/16-23 Regulatory Notice 16-23 | FINRA.org SEC Approves Rule Change to Reduce the Clock Synchronization Tolerance for Computer Clocks Used To Record Events in NMS Securities and OTC Equity Securities regulatory notice finra https://www.finra.org/rules-guidance/notices/11-02 Regulatory Notice 11-02 | FINRA.org SEC Approves Consolidated FINRA Rules Governing Know-Your-Customer and Suitability Obligations regulatory notice finra https://www.finra.org/rules-guidance/notices/16-22 Regulatory Notice 16-22 | FINRA.org SEC Approves Consolidated FINRA Rule 3210 (Accounts At Other Broker-Dealers and Financial Institutions) regulatory notice finra https://oal.ca.gov/california_regulatory_notice_online/july-2018-california-regulatory-notice-registers/ July 2018 California Regulatory Notice Registers | OAL california regulatory july notice registers oal https://www.finra.org/rules-guidance/notices/07-49 Regulatory Notice 07-49 | FINRA.org Regulatory Relief PLEASE NOTE: The FINRA rulebook currently consists of both NASD Rules and certain NYSE Rules that FINRA has incorporated, including the NYSE... regulatory notice finra https://www.finra.org/rules-guidance/notices/22-08/comment/li-trinh-comment-regulatory-notice-22-08 li Trinh Comment On Regulatory Notice 22-08 | FINRA.org No new regulations need to be added. Protecting retail investors is just an excuse. Everyone enters knowing the risk they face. Everyone accept their own... regulatory notice li trinh comment finra https://www.finra.org/rules-guidance/notices/26-06 Regulatory Notice 26-06 | FINRA.org Arbitration is an important means for resolving disputes involving customers, FINRA member firms and their associated persons. FINRA’s Dispute Resolution... regulatory notice finra https://www.finra.org/rules-guidance/notices/21-34 Regulatory Notice 21-34 | FINRA.org Summary FINRA has adopted new rules to address firms with a significant history of misconduct.1 New Rule 4111 (Restricted Firm Obligations) requires member... regulatory notice finra https://www.finra.org/rules-guidance/notices/10-09 Regulatory Notice 10-09 | FINRA.org FINRA Reminds Firms of Their Sales Practice Obligations With Reverse Exchangeable Securities (Reverse Convertibles) regulatory notice finra https://www.finra.org/rules-guidance/notices/21-19/comment/anonymous-comment-regulatory-notice-21-19-1 Anonymous-B Comment On Regulatory Notice 21-19 | FINRA.org Hello FINRA, I saw you are looking for comments on 21-19, regarding short positions. As I see it, the current US market is full of nothing but fraud, with the... regulatory notice anonymous b comment finra https://www.finra.org/rules-guidance/notices/16-11 Regulatory Notice 16-11 | FINRA.org SEC Approves Expanded Application of Supplemental Schedule for Derivatives and Other Off-Balance Sheet Items regulatory notice finra https://oal.ca.gov/california_regulatory_notice_online/august-2018-california-regulatory-notice-registers/ August 2018 California Regulatory Notice Registers | OAL california regulatory august notice registers oal https://oal.ca.gov/february-2022-california-regulatory-notice-registers/ February 2022 California Regulatory Notice Registers | OAL california regulatory february notice registers oal https://ww2.arb.ca.gov/resources/documents/california-reformulated-gasoline-regulatory-notice-march-2020 California Reformulated Gasoline Regulatory Notice (March 2020) | California Air Resources Board Information for Entities Subject to the California Reformulated Gasoline Regulation regulatory notice air resources california gasoline march https://www.finra.org/rules-guidance/notices/14-21 Regulatory Notice 14-21 | FINRA.org SEC Approves Amendments to Equity Trade Reporting and OATS Rules regulatory notice finra https://www.finra.org/rules-guidance/notices/21-36 Regulatory Notice 21-36 | FINRA.org Summary The Financial Crimes Enforcement Network (FinCEN) has issued the first government-wide priorities for anti-money laundering and countering the... regulatory notice finra https://www.finra.org/rules-guidance/notices/25-19 Regulatory Notice 25-19 | FINRA.org SummaryFINRA is amending the Annual Reports Extension of Time Request Policy to update the information required from firms and their auditors when making... regulatory notice finra https://www.finra.org/rules-guidance/notices/21-19/comment/mike-comment-regulatory-notice-21-19 Mike Comment On Regulatory Notice 21-19 | FINRA.org I fully support all increases in what must be reported with regards to short positions, and the frequency in reporting. If regulators are truly worried about... regulatory notice mike comment finra https://www.finra.org/rules-guidance/notices/09-34 Regulatory Notice 09-34 | FINRA.org FINRA Requests Comment on Proposed Consolidated FINRA Rule Governing Investment Company Securities regulatory notice finra https://www.finra.org/index.php/rules-guidance/notices/17-14 Regulatory Notice 17-14 | FINRA.org FINRA Requests Comment on FINRA Rules Impacting Capital Formation regulatory notice finra https://www.finra.org/rules-guidance/notices/21-42 Regulatory Notice 21-42 | FINRA.org Summary FINRA is alerting firms to a recently identified vulnerability in Apache Log4J software, which is an open-source, Java-based logging utility widely... regulatory notice finra https://www.finra.org/rules-guidance/notices/22-14/comment/henry-goodman-comment-regulatory-notice-22-14 Henry Goodman Comment On Regulatory Notice 22-14 | FINRA.org As a retail investor we need this rule for transparency for the entire market regulatory notice henry goodman comment finra https://www.tceq.texas.gov/downloads/remediation/pst/responsible-party/pgreports.pdf/view Regulatory Notice, Professional Geoscientist Seal - pgreports - Texas Commission on Environmental... Regulatory Notice, Professional Geoscientist Seal - pgreports regulatory notice professional seal texas commission https://www.finra.org/rules-guidance/notices/22-08/comment/bryon-mangler-comment-regulatory-notice-22-08 Bryon Mangler Comment On Regulatory Notice 22-08 | FINRA.org I would be categorized as a "retail" trader. The assumptions being made in this proposal are insulting, it wrongly assumes so called retail traders are... regulatory notice bryon mangler comment finra https://www.finra.org/rules-guidance/notices/16-18 Regulatory Notice 16-18 | FINRA.org SEC Approves Rule Requiring Delivery of an Educational Communication to Customers of a Transferring Representative regulatory notice finra https://www.finra.org/rules-guidance/notices/12-28 Regulatory Notice 12-28 | FINRA.org SEC Approves Amendments to Rule 13204 of the Industry Code to Preclude Collective Action Claims from Being Arbitrated Under the Code regulatory notice finra https://www.finra.org/rules-guidance/notices/18-29 Regulatory Notice 18-29 | FINRA.org FINRA Reminds Firms of Their Obligations When Effecting OTC Trades in Equity Securities on a Net Basis regulatory notice finra https://www.finra.org/rules-guidance/notices/15-09 Regulatory Notice 15-09 | FINRA.org Guidance on Effective Supervision and Control Practices for Firms Engaging in Algorithmic Trading Strategies regulatory notice finra https://www.finra.org/rules-guidance/notices/17-30 Regulatory Notice 17-30 | FINRA.org SEC Approves Consolidated FINRA Registration Rules, Restructured Representative-Level Qualification Examinations and Changes to Continuing Education... regulatory notice finra https://oal.ca.gov/august-2025-california-regulatory-notice-registers-2/ August 2025 California Regulatory Notice Registers | OAL california regulatory august notice registers oal https://www.finra.org/rules-guidance/notices/21-19/comment/jonathan-comment-regulatory-notice-21-19 Jonathan Comment On Regulatory Notice 21-19 | FINRA.org The Reporting of Loan Obligations as Short Interest. Theory suggests that some participants are borrowing shares from ETF's to cover their existing short... regulatory notice jonathan comment finra https://www.finra.org/rules-guidance/notices/10-11 Regulatory Notice 10-11 | FINRA.org Amendments to the Arbitration Rules Regarding Deficient Claims regulatory notice finra https://oal.ca.gov/december-2025-california-regulatory-notice-registers/ December 2025 California Regulatory Notice Registers | OAL california regulatory december notice registers oal https://www.finra.org/rules-guidance/notices/12-42 Regulatory Notice 12-42 | FINRA.org FINRA Requests Comment on a Revised Proposal to Identify and Manage Conflicts Involving the Preparation and Distribution of Debt Research Reports regulatory notice finra https://oal.ca.gov/september-2023-california-regulatory-notice-registers/ September 2023 California Regulatory Notice Registers | OAL california regulatory september notice registers oal https://www.finra.org/rules-guidance/notices/21-19/comment/josh-blanchard-comment-regulatory-notice-21-19 Josh Blanchard Comment On Regulatory Notice 21-19 | FINRA.org How are we (the public retail) supposed to believe any information reported is accurate, when fines for breaking any rules take years to resolve and are... regulatory notice josh blanchard comment finra https://www.finra.org/rules-guidance/notices/21-19/comment/robert-andersen-comment-regulatory-notice-21-19 Robert Andersen Comment On Regulatory Notice 21-19 | FINRA.org First, there is no rule that can be put in place where the repurcussions are fines. Fines are a cost of doing business. Period. The street always makes far... regulatory notice robert andersen comment finra https://www.finra.org/rules-guidance/notices/21-20 Regulatory Notice 21-20 | FINRA.org Summary FINRA warns member firms of an ongoing phishing campaign that involves fraudulent emails (see sample in Appendix) purporting to be from FINRA and using... regulatory notice finra https://oal.ca.gov/november-2019-california-regulatory-notice-registers/ November 2019 California Regulatory Notice Registers | OAL california regulatory november notice registers oal https://www.finra.org/rules-guidance/notices/26-14 Regulatory Notice 26-14 | FINRA.org Summary FINRA seeks comment on a proposal to modernize Rule 2210 (Communications with the Public).This proposal reflects evolving communication practices and... regulatory notice finra https://www.finra.org/rules-guidance/notices/21-19/comment/retail-shareholder-comment-regulatory-notice-21-19 Retail Shareholder Comment On Regulatory Notice 21-19 | FINRA.org As a retail shareholder and investor (equities and options) in multiple companies such as Tesla, Gamestop, AMC, along with the typical ETFs tracking the... regulatory notice retail shareholder comment finra https://www.finra.org/rules-guidance/notices/07-38 Regulatory Notice 07-38 | FINRA.org FINRA Extends Implementation of Rule Amendments Relating to Non-Tape (Or Clearing-Only) Reports for Previously Executed Trades regulatory notice finra https://www.finra.org/rules-guidance/notices/15-04 Regulatory Notice 15-04 | FINRA.org FINRA Requests Comment on a Proposal to Disseminate Additional Securitized Products and to Reduce the Reporting Time Frame for These Products regulatory notice finra https://oal.ca.gov/february-2021-california-regulatory-notice-registers/ February 2021 California Regulatory Notice Registers | OAL california regulatory february notice registers oal https://www.finra.org/rules-guidance/notices/09-59 Regulatory Notice 09-59 | FINRA.org FINRA Provides Guidance on Pandemic Preparedness regulatory notice finra https://www.finra.org/rules-guidance/notices/17-08 Regulatory Notice 17-08 | FINRA.org SEC Approves Amendments to Require Mark-Up/Mark-Down Disclosure on Confirmations for Trades With Retail Investors in Corporate and Agency Bonds regulatory notice finra https://www.finra.org/rules-guidance/notices/21-19/comment/nicolas-benham-comment-regulatory-notice-21-19 Nicolas Benham Comment On Regulatory Notice 21-19 | FINRA.org Simplistic answer. Get all the information and in the shortest time frames, ex: in t+1. Consumers make purchases/sales for products based on reviews and the... regulatory notice nicolas benham comment finra https://www.finra.org/rules-guidance/notices/11-41 Regulatory Notice 11-41 | FINRA.org FINRA Provides Guidance on Prohibition Against Offering Favorable Research to Induce Investment Banking Business regulatory notice finra https://www.finra.org/rules-guidance/notices/26-11 Regulatory Notice 26-11 | FINRA.org FINRA is publishing updated interpretations of its margin rule (FINRA Rule 4210) to provide guidance to members in implementing the new intraday margin... regulatory notice finra https://www.finra.org/rules-guidance/notices/12-16 Regulatory Notice 12-16 | FINRA.org Changes to Qualification Examination Fees and New Service Charge for Regulatory Element Continuing Education Sessions Taken Outside the United States regulatory notice finra https://oal.ca.gov/june-2022-california-regulatory-notice-registers/ June 2022 California Regulatory Notice Registers | OAL california regulatory june notice registers oal https://www.finra.org/rules-guidance/notices/14-15 Regulatory Notice 14-15 | FINRA.org FINRA Requests Comment on the Effectiveness and Efficiency of its Gifts and Gratuities and Non-Cash Compensation Rules regulatory notice finra https://oal.ca.gov/june-2022-california-regulatory-notice-registers-2/ June 2022 California Regulatory Notice Registers | OAL california regulatory june notice registers oal https://www.finra.org/rules-guidance/notices/09-04 Regulatory Notice 09-04 | FINRA.org SEC Approves Proposed Rule Change to Amend the Submission Agreement and Related Rules in the Arbitration Codes for Customer and Industry Disputes regulatory notice finra https://www.finra.org/rules-guidance/notices/20-34/comment/leonida-manabat-comment-regulatory-notice-20-34 Leonida Manabat Comment On Regulatory Notice 20-34 | FINRA.org I would appreciate if you can include in your protection and security program of senior investors from other countries outside the US territories. Some US... regulatory notice leonida comment finra https://www.finra.org/rules-guidance/notices/22-08/comment/denise-domingo-comment-regulatory-notice-22-08-1 Denise Domingo Comment On Regulatory Notice 22-08 | FINRA.org I should be able to choose what is right for my investment portfolio. If I make the mistake and not do my research then its my own fault. I shouldn't have to... regulatory notice denise domingo comment finra